Caterpillar Inc
CAT- Exchange
- NYSE
- Industry
- Construction Machinery & Equip
- SEC CIK
- 0000018230
In the last 90 days, Caterpillar Inc insiders filed 0 open-market purchases and 1 sale; 4,070 institutions reported holding it in 13F filings for Q2 2026, worth $351.1B in total; 5 superinvestors hold it, including Gates Foundation Trust and Markel Group.
13F holders, Q1 2023
Institutional positions in Caterpillar Inc as of Mar 31, 2023. Investment managers with $100 million or more in US stocks report their long positions on Form 13F within 45 days after each quarter ends. How 13F works
- Institutional holders
- 2,284
- +48 vs. Q4 2022
- Shares held
- 390.3M
- +27.3M (+7.5%) vs. Q4 2022
- Total value
- $82.6B
- −$4.30B (−4.9%) vs. Q4 2022
- New holders
- 165
- 873 more added
- Sold out
- 117
- 864 more reduced
51 institutions that held it in Q4 2022 haven't filed for Q1 2023 yet. Not filing isn't selling, so they aren't counted as sold out or in the changes above.
Compare with Q4 2022: new holders, sold out and not filed yet
Holders and value by quarter
Institutions reporting CAT on Form 13F each quarter since Q1 2021, and the total value they reported. Values are as of each quarter end, so they also move with the share price.
| Quarter | Holders | Value |
|---|---|---|
| Q2 2026 | 4,070 | $351.1B |
| Q1 2026 | 3,772 | $232.0B |
| Q4 2025 | 3,542 | $188.7B |
| Q3 2025 | 3,150 | $159.0B |
| Q2 2025 | 3,022 | $128.0B |
| Q1 2025 | 2,902 | $109.0B |
| Q4 2024 | 3,009 | $123.4B |
| Q3 2024 | 2,837 | $133.6B |
| Q2 2024 | 2,712 | $114.5B |
| Q1 2024 | 2,713 | $127.6B |
| Q4 2023 | 2,582 | $104.6B |
| Q3 2023 | 2,408 | $97.3B |
| Q2 2023 | 2,328 | $88.0B |
| Q1 2023 | 2,284 | $82.6B |
| Q4 2022 | 2,287 | $87.1B |
| Q3 2022 | 1,992 | $59.2B |
| Q2 2022 | 2,077 | $65.6B |
| Q1 2022 | 2,176 | $82.0B |
| Q4 2021 | 2,161 | $74.9B |
| Q3 2021 | 1,943 | $71.1B |
| Q2 2021 | 2,028 | $82.0B |
| Q1 2021 | 2,015 | $88.0B |
Institutions, Q1 2023
Shares, value and share of portfolio for each institution holding Caterpillar Inc; share changes are against Q4 2022.
| Institution | Shares | Value | % of portfolio | Change in shares | Action |
|---|---|---|---|---|---|
| HighTower Advisors, LLC | 462,820 | $105.9M | 0.23% | −39,192−7.8% | Reduced |
| D. E. Shaw & Co., Inc. | 465,684 | $106.6M | 0.17% | −170,697−26.8% | Reduced |
| First Trust Advisors LP | 469,902 | $107.5M | 0.12% | +45,451+10.7% | Added |
| DekaBank Deutsche Girozentrale | 485,372 | $107.6M | 0.27% | +100,234+26.0% | Added |
| Nordea Investment Management AB | 480,331 | $108.9M | 0.16% | +111,035+30.1% | Added |
| Qube Research & Technologies Ltd | 478,736 | $109.6M | 0.63% | +478,736 | New |
| Baird Financial Group, Inc. | 482,540 | $110.4M | 0.27% | −86,728−15.2% | Reduced |
| AXA S.A. | 530,804 | $111.5M | 0.38% | +250,599+89.4% | Added |
| Bessemer Group Inc | 489,610 | $112.0M | 0.27% | +5,327+1.1% | Added |
| Los Angeles Capital Management LLC | 489,695 | $112.1M | 0.50% | +157,945+47.6% | Added |
| Zacks Investment Management | 509,681 | $116.6M | 1.56% | +15,891+3.2% | Added |
| Envestnet Asset Management Inc | 1,050,832 | $121.2M | 0.06% | +508,872+93.9% | Added |
| Susquehanna International Group, LLP | 530,973 | $121.5M | 0.19% | −61,802−10.4% | Reduced |
| Korea Investment CORP | 554,919 | $127.0M | 0.37% | +75,784+15.8% | Added |
| Man Group plc | – | $134.6M | 0.48% | – | – |
| State Board of Administration of Florida Retirement System | 593,608 | $135.8M | 0.32% | −10,010−1.7% | Reduced |
| Schroder Investment Management Group | 599,320 | $137.1M | 0.20% | +17,207+3.0% | Added |
| New York State Teachers Retirement System | 615,432 | $140.8M | 0.33% | −12,033−1.9% | Reduced |
| Principal Financial Group Inc | 617,927 | $141.4M | 0.10% | +2,782+0.5% | Added |
| Stifel Financial Corp | 635,757 | $145.5M | 0.21% | −17,678−2.7% | Reduced |
| Alliancebernstein L.P. | 637,981 | $146.0M | 0.06% | −29,993−4.5% | Reduced |
| Raymond James & Associates | 644,464 | $147.5M | 0.13% | −134,440−17.3% | Reduced |
| CI Private Wealth, LLC | 645,805 | $147.8M | 0.40% | +254,761+65.1% | Added |
| Massachusetts Financial Services Co | 676,452 | $154.8M | 0.05% | +676,452 | New |
| LPL Financial LLC | 686,939 | $157.2M | 0.12% | +21,694+3.3% | Added |
| US Bancorp | 695,433 | $159.1M | 0.27% | −13,101−1.8% | Reduced |
| Prudential Financial Inc | 839,725 | $159.6M | 0.25% | +35,591+4.4% | Added |
| Mitsubishi UFJ Kokusai Asset Management Co., Ltd. | 710,791 | $162.7M | 0.39% | +41,206+6.2% | Added |
| Hudson Bay Capital Management LP | 750,000 | $171.6M | 1.87% | +750,000 | New |
| National Pension Service | 838,643 | $188.3M | 0.34% | +47,746+6.0% | Added |
| Bank of Montreal | 833,816 | $190.9M | 0.12% | −164,079−16.4% | Reduced |
| New York State Common Retirement Fund | 866,201 | $198.2M | 0.27% | −56,950−6.2% | Reduced |
| California State Teachers Retirement System | 882,128 | $201.9M | 0.30% | −17,579−2.0% | Reduced |
| ProShare Advisors LLC | 899,625 | $205.9M | 0.63% | −182,809−16.9% | Reduced |
| HSBC Holdings PLC | 915,705 | $208.7M | 0.27% | +102,959+12.7% | Added |
| Altshuler Shaham Ltd | 924,476 | $211.6M | 4.64% | +60,323+7.0% | Added |
| Rhumbline Advisers | 938,693 | $214.8M | 0.27% | +25,403+2.8% | Added |
| Barclays PLC | 944,022 | $216.0M | 0.22% | −1,288,150−57.7% | Reduced |
| Price T Rowe Associates Inc | 972,531 | $222.6M | 0.03% | −48,893−4.8% | Reduced |
| TD Asset Management Inc | 978,963 | $224.0M | 0.27% | −151,451−13.4% | Reduced |
| Credit Suisse AG | 988,532 | $226.2M | 0.23% | +70,790+7.7% | Added |
| California Public Employees Retirement System | 1,025,378 | $234.6M | 0.21% | −160,088−13.5% | Reduced |
| Boston Partners | 1,069,185 | $243.9M | 0.34% | −18,589−1.7% | Reduced |
| Deutsche Bank AG | 1,125,279 | $257.5M | 0.14% | +18,522+1.7% | Added |
| Capital International Investors | 1,278,563 | $292.6M | 0.08% | −407,456−24.2% | Reduced |
| JPMorgan Chase & Co | 1,282,483 | $293.5M | 0.04% | +83,912+7.0% | Added |
| Lazard Asset Management LLC | 1,304,939 | $298.6M | 0.39% | +72,321+5.9% | Added |
| UBS Group AG | 1,458,113 | $333.7M | 0.15% | −1,475−0.1% | Reduced |
| Renaissance Technologies LLC | 1,488,800 | $340.7M | 0.45% | +674,300+82.8% | Added |
| Neuberger Berman Group LLC | 1,535,302 | $350.9M | 0.33% | +181,795+13.4% | Added |
| Ameriprise Financial Inc | 1,589,593 | $363.8M | 0.12% | +73,565+4.9% | Added |
| Diamond Hill Capital Management Inc | 1,663,628 | $380.7M | 1.78% | −102,480−5.8% | Reduced |
| DZ BANK AG Deutsche Zentral Genossenschafts Bank, Frankfurt am Main | 1,720,220 | $393.7M | 0.67% | +1,458,732+557.9% | Added |
| Royal Bank of Canada | 1,753,286 | $401.2M | 0.12% | −865,547−33.1% | Reduced |
| Citigroup Inc | 1,811,994 | $414.7M | 0.56% | −15,286−0.8% | Reduced |
| Capital Research Global Investors | 1,812,090 | $414.7M | 0.12% | +5610.0% | Added |
| Wells Fargo & Company | 1,816,189 | $415.6M | 0.13% | −52,140−2.8% | Reduced |
| Sumitomo Mitsui Trust Holdings, Inc. | 1,818,998 | $416.3M | 0.31% | −6,369−0.3% | Reduced |
| Swiss National Bank | 2,065,300 | $472.6M | 0.32% | −80,300−3.7% | Reduced |
| UBS Asset Management Americas Inc | 2,477,910 | $567.0M | 0.27% | −128,366−4.9% | Reduced |
| Dimensional Fund Advisors LP | 2,499,429 | $571.9M | 0.19% | +102,688+4.3% | Added |
| Primecap Management Co | 2,534,148 | $579.9M | 0.51% | −115,745−4.4% | Reduced |
| Charles Schwab Investment Management Inc | 2,764,045 | $632.5M | 0.19% | +9,142+0.3% | Added |
| Amundi | 3,259,679 | $696.1M | 0.38% | −511,285−13.6% | Reduced |
| Legal & General Group Plc | 3,157,819 | $722.6M | 0.26% | −80,357−2.5% | Reduced |
| Goldman Sachs Group Inc | 3,285,006 | $751.7M | 0.20% | +581,139+21.5% | Added |
| Invesco Ltd. | 3,473,497 | $794.9M | 0.22% | +219,892+6.8% | Added |
| Nuveen Asset Management, LLC | 3,491,558 | $799.0M | 0.30% | −34,143−1.0% | Reduced |
| Bank of America Corp | 4,540,220 | $1.04B | 0.12% | +442,317+10.8% | Added |
| Bank of New York Mellon Corp | 5,053,957 | $1.16B | 0.26% | −285,786−5.4% | Reduced |
| Norges Bank | 5,173,666 | $1.18B | 0.26% | +267,776+5.5% | Added |
| FMR LLC | 5,665,888 | $1.30B | 0.12% | +1,024,083+22.1% | Added |
| Morgan Stanley | 6,582,876 | $1.51B | 0.16% | −25,289−0.4% | Reduced |
| Northern Trust Corp | 6,942,309 | $1.59B | 0.31% | −55,912−0.8% | Reduced |
| Gates Foundation TrustSuperinvestorGates Foundation Trust | 7,353,614 | $1.68B | 4.62% | 00.0% | Unchanged |
| Fisher Asset Management, LLC | 7,522,922 | $1.72B | 1.05% | +132,306+1.8% | Added |
| Geode Capital Management, LLC | 9,375,637 | $2.14B | 0.28% | +244,930+2.7% | Added |
| State Farm Mutual Automobile Insurance Co | 17,761,276 | $4.06B | 4.21% | 00.0% | Unchanged |
| Capital World Investors | 28,780,071 | $6.59B | 1.36% | −311,060−1.1% | Reduced |
| BlackRock Inc. | 35,250,289 | $8.07B | 0.24% | −1,210,401−3.3% | Reduced |
| State Street Corp | 38,973,173 | $8.92B | 0.50% | −805,362−2.0% | Reduced |
| Vanguard Group Inc | 49,114,901 | $11.2B | 0.29% | +413,319+0.8% | Added |
| Cerity Partners LLC | 147,138 | – | – | +10,266+7.5% | Added |
| Quilter Plc | 46,659 | – | – | +643+1.4% | Added |
| GQG Partners LLC | 0 | $0 | 0.00% | −339,252−100.0% | Sold out |
| Balyasny Asset Management LLC | 0 | $0 | 0.00% | −274,003−100.0% | Sold out |
| Parallax Volatility Advisers, L.P. | 0 | $0 | 0.00% | −167,290−100.0% | Sold out |
| ExodusPoint Capital Management, LP | 0 | $0 | 0.00% | −82,336−100.0% | Sold out |
| Duquesne Family Office LLCSuperinvestorDuquesne Family Office | 0 | $0 | 0.00% | −63,800−100.0% | Sold out |
| Mizuho Markets Americas LLC | 0 | $0 | 0.00% | −62,219−100.0% | Sold out |
| McRae Capital Management Inc | 0 | $0 | 0.00% | −41,143−100.0% | Sold out |
| Group One Trading, L.P. | 0 | $0 | 0.00% | −39,115−100.0% | Sold out |
| Gladius Capital Management LP | 0 | $0 | 0.00% | −36,000−100.0% | Sold out |
| Barometer Capital Management Inc. | 0 | $0 | 0.00% | −26,961−100.0% | Sold out |
| FORA Capital, LLC | 0 | $0 | 0.00% | −20,336−100.0% | Sold out |
| Mark Asset Management LP | 0 | $0 | 0.00% | −19,769−100.0% | Sold out |
| Arabesque Asset Management Ltd | 0 | $0 | 0.00% | −11,771−100.0% | Sold out |
| Icon Advisers Inc | 0 | $0 | 0.00% | −10,025−100.0% | Sold out |
| Caisse de Depot Et Placement du Quebec | 0 | $0 | 0.00% | −9,909−100.0% | Sold out |
| Moore Capital Management, LP | 0 | $0 | 0.00% | −8,576−100.0% | Sold out |